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SB

Scott C. Buck

H.C.WAINWRIGHT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 4513134
SB

Professional summary

Scott Christian Buck is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2004. Scott has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Christian Buck's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 24, 2020 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022
BD
CRD#: 375
New York, NY
Past

May 14, 2018 - August 26, 2020

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
Los Angeles, CA
Past

November 30, 2016 - March 23, 2018

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
DENVER, CO
Past

October 22, 2013 - October 22, 2015

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA
CRD#: 108258
LOS ANGELES, CA
Past

September 24, 2013 - October 22, 2015

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA
Past

June 7, 2013 - October 14, 2013

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEWPORT BEACH, CA
Past

January 23, 2013 - May 23, 2013

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LOS ANGELES, CA
Past

January 7, 2010 - April 4, 2012

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
SAN FRANCISCO, CA
Past

April 22, 2006 - April 22, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 10, 2004 - January 20, 2006

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
MEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(8/19/2021)
RR
New York
(1/6/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/21/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/14/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/2/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 8/9/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HCWHC INCSHAREHOLDER
KAPLAN, MARK ELIOTCEO2618079
KIRSCH, KENNETH JOHNCFO1671480
KIRSCH, KENNETH JOHNFINOP1671480
SILVERA, EDWARD DAVIDCHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375New York, NY 10022

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